offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
been approved in the capital market and mutual fund information such as nature and characteristics of mutual funds, fees and past performance. The dissemination of information via SEC API aims to help
Market Business Personnel dated 3 June 2014, and the prohibited characteristics of the capital market business personnel in Group 3 under Clause 31(1) of the said Act.Since the approval period for
Jor. 3/2560 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 January 2017.
Clause 23(2) and having prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel
characteristics of director and executive at any issuing or listed company for a period up to 3 years to be specified by the SEC.In case of Ornsiri, her assistance to Assavin?s insider trading was an offence under
years from June 16, 2011, providing that he must not have any prohibited characteristics when applying for the SEC?s approval.
securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the
connection, Yongyuth and Vorapin are deemed as having untrustworthy characteristics of a publicly held company director and executive throughout the criminal proceeding period. On criminal proceedings, they
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor